Contract analysis

I. Introduction and Purpose This memorandum follows the delivery of our Final Investigative Report dated November 22, 2024 (the "Final Report"), which Calderwood & Harkness LLP ("C&H") provided to Thornwick Medical Research Institute ("TMRI") in connection with the investigation of five formal employee grievances concerning the conduct of Dr. Marcus Ellender, Director of Biomedical Engineering Laboratories. The Final

II. Summary of Investigation and Findings To provide context for the corrective-action implementation guidance that follows, we briefly recapitulate the key facts and findings of the investigation as set forth in the Final Report. Background and Timeline The investigation was formally opened on September 10, 2024, following a referral from Grace Okenwa's office to Elena Graff. The referral was prompted by the filing

1. Dr. Yuna Sakata, Research Scientist, Biomedical Engineering Laboratories (grievance filed August 12, 2024);

2. Trevor Hollins, Senior Laboratory Technician, Lab B-2 (grievance filed August 19, 2024);

3. Dr. Priya Chandrasekaran, Postdoctoral Research Associate, Lab B-3 (grievance filed August 22, 2024);

4. Miguel Ferreira, Laboratory Technician, Lab B-4 (grievance filed August 28, 2024); and

5. Sandra Nix, Research Associate, Lab B-2 (grievance filed September 4, 2024). The respondent, Dr. Marcus Ellender, serves as Director of Biomedical Engineering Laboratories, overseeing Labs B-1 through B-4 and directly or indirectly supervising approximately 24 research and technical personnel. Dr. Ellender has been employed by TMRI since 2016 and has served as Director since 2019. He was placed on paid administrat

III. Corrective Action No. 1: Termination of Dr. Ellender for Cause A. Legal Basis and Handbook Authority The TMRI Employee Handbook, at Section 9.2 ("Termination for Cause"), authorizes the termination of any employee for cause based on, among other enumerated grounds: (a) misconduct; (b) violation of TMRI policies, including safety protocols; (c) falsification or alteration of records; (d) retaliation against emplo

IV. Corrective Action No. 2: Referral of Safety Violations to IBC and OSHA A. Institutional Biosafety Committee (IBC) Referral TMRI, as a recipient of NIH funding for research involving recombinant or synthetic nucleic acid molecules, is required under the NIH Guidelines to maintain an Institutional Biosafety Committee. The IBC is responsible for reviewing and overseeing research involving recombinant or synthetic nu

V. Corrective Action No. 3: Notification to NIH Grants Management Regarding PI Change A. Background on Active NIH Grants Dr. Ellender is currently the named Principal Investigator ("PI") on two active NIH R01 research grants: These two grants represent a substantial component of TMRI's externally funded research portfolio. Upon Dr. Ellender's termination, the PI designation for each grant will need to be changed, as

VI. Corrective Action No. 4: Mandatory Anti-Retaliation and Supervisory-Conduct Training A. Scope of Training We recommend that TMRI implement mandatory anti-retaliation and supervisory-conduct training for all laboratory directors and supervisors across the institute. Based on information provided by TMRI, this encompasses approximately eighteen (18) individuals occupying supervisory roles over laboratory and resear

VII. Corrective Action No. 5: Revision of Safety-Incident Reporting Procedures A. Current Deficiencies The investigation revealed significant structural deficiencies in TMRI's existing safety-incident reporting procedures that facilitated the misconduct at issue and may have delayed the identification of unsafe conditions. Two principal deficiencies warrant attention. First, the existing reporting process permitted s

VIII. Corrective Action No. 6: Individual Remediation for Affected Complainants Each of the five complainants who filed grievances has been affected by Dr. Ellender's misconduct in distinct ways. The Final Report recommended that TMRI undertake specific remediation measures for each individual. We address each complainant below. A. Dr. Yuna Sakata Dr. Sakata was improperly reassigned from her role on NIH Grant No. 5R

IX. EPLI Notice Obligations A. Policy Details TMRI maintains an Employment Practices Liability Insurance ("EPLI") policy with Meridian Indemnity Group. The key terms of the policy are summarized below: B. Notice Requirements EPLI policies, including the Meridian policy, typically require the insured to provide timely written notice of any "claim" as defined in the policy, as well as notice of any circumstances that m